DFX Intelligence
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N••••••• K•••
Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· Camden, ScIAPD 6634020
Chartered Financial Consultant
As of · the IAPD feed; also filed as N••••••• W•••• K•••
- At current firm
- 3 y
- In the industry
- 10 y
- Prior registered firms
- 1
- Signals
- 1
since Jul 21, 2023
As of · the IAPD feed; also filed as N••••••• W•••• K•••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Recruiter briefHow to read thisEvery line is a fact from a public record, or a measurement DFX made on the registration history of every advisor (2023 to 2025 cohorts), read for this advisor’s own firm where the sample allows. A move indicator means advisors with that fact moved more often; a retention indicator means they moved less. Neither says what this person will do. Recruiting value and movement evidence are kept apart on purpose.
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
- Practice attractivenesssomedesignations Chartered Financial Consultant
- Team depthnone0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
- Entrepreneurial profilenoneDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- Contactabilitystrongverified business email at ml.com (apollo); LinkedIn profile
Movement evidence
- Movement signalnone0 of 1 dated or circumstantial reading historically went with moving. The forward-tested move model places this advisor in its Highly elevated band.
- Recent change activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome4 prior firms, median stay 0.9 years.
Dated changes and circumstances, and what they have meant historically
- weak retention associationA known colleague moved to an independent RIA in the prior 180 daysAt Merrill, 4.8% with this moved within a year, against 6.0% without it (0.80x, 2023 to 2025 cohorts).
Career
- 7.4 years in the industry
- 3.2 years at the current firm
- 4 prior registered firms; median stay 0.9 years
- Path: national broker-dealer RIA to wirehouse
Source: SEC IAPD per-person record
Licensing and credentials
- Registered in 8 states (firm median 2)
- Exams: SIE, Series 66, Series 7
- Designations: Chartered Financial Consultant
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- 1 known colleagues changed firms in the last year
- 1 went to an independent RIA in the last 180 days
Regulatory record
Shown to subscribers, with the official record linked.
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 21, 2023 · Camden, Sc
- E••••• J•••• national BDJun 2, 2021 to Jul 6, 2023 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 6, 2023, registered Jul 21, 2023 (15 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedJul 6, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote